National Archives and Records Administration
Instructional Guide Series

Vital Records and Records Disaster Mitigation and Recovery

An Instructional Guide

National Archives and Records Administration
Office of Records Administration
College Park, MD
1996

NOTE: This publication is being prepared for printing. The
printed edition will include illustrations and other enhancements,
which when possible, will be available electronically also. NARA
anticipates availability of the printed copies in the spring of
1996. Distribution of NARA records management publications is
handled by the Publications Distribution Staff, NECD, Room G-9, 7th
& Pennsylvania Ave., NW, Washington, DC 20408 (1- 800-234-8861, FAX
202-501-7170).

The management of vital records is part of a Federal agency's
emergency preparedness responsibility. This instructional guide
addresses the identification and protection of records containing
information that Federal agencies may need to conduct business under
emergency operating conditions or to protect the legal and financial
rights of the Federal government and the people it serves. This
guide also recommends policies and procedures that will allow
agencies to assess the damage to and implement the recovery of any
of their records that may be affected by an emergency or disaster.
An emergency means a situation or an occurrence of a serious nature,
developing suddenly and unexpectedly, and demanding immediate
action. This is generally of short duration, for example, an
interruption of normal agency operations for a week or less. It may
involve electrical failure or minor flooding caused by broken pipes.
A disaster, on the other hand, means an unexpected occurrence
inflicting widespread destruction and distress and having long-term
adverse effects on agency operations. Each agency defines what a
long-term adverse effect is in relation to its most critical
program activities. Much of the information in this instructional
guide is advisory in nature, rather than regulatory. It is left to
the discretion and judgment of Federal agency officials how best to
implement the practices and procedures described herein,
particularly given the human, financial and information resources
available for implementing them.

The identification and protection of copies of records containing
vital information and the implementation of records disaster
mitigation and recovery programs constitute an insurance policy
against the disruption of critical agency operations. To effect
that insurance policy Federal agencies must take appropriate action
to achieve the aims of continuing operations, reconstituting normal
business operations, protecting legal and financial rights, and
recovering damaged records. Consequently, agencies need to
determine their most critical functions and identify those records
needed for the performance of those functions. Equally important is
the identification of recorded information that protects the legal
and financial rights both of an agency and of the individuals
affected by that agency's actions and the measures required to
protect such information. Finally, agencies need to develop a plan
of action to respond to emergencies or disasters that may damage an
agency's records and to provide for the recovery of needed
information, regardless of the medium on which it is recorded.
Agency officials should keep in mind that both vital records and
records disaster recovery programs occur in the context of emergency
preparedness.

The Federal vital records program originated in the 1950's as
part of the continuity of Government program. Bureau of Budget
Bulletins No. 51-14, May 22, 1951, and No. 52-5, September 6, 1951,
established requirements for vital operating records protection
programs. Subsequently, the President issued Executive Order 10346
on April 17, 1952, making each Federal department and agency
responsible for carrying out its essential functions in an
emergency. Later Presidents have issued various Executive orders
that have modified Federal continuity of Government and emergency
preparedness responsibilities. Currently, Executive Order 12656
defines agency responsibilities during a national security
emergency.

The initial focus of the vital records program was the
continuation of Federal agency operations under national emergency
conditions, including a possible enemy nuclear attack upon the
United States, and the reconstitution of normal agency activities at
the emergency's conclusion. The cold war created a need to prepare
for national mobilization in case of an actual war breaking out.
With the decline of diplomatic tensions over time and the recent end
of the cold war, the vital records program has increasingly been
dedicated to meeting the challenges that Federal agencies face in
continuing their operations and protecting their records in the face
of natural disasters and the threat of terrorism.

Technological advances affecting the management of recorded
information have had an increasing impact on vital records programs
also. The Federal Government frequently relies on electronic
information systems to conduct its business and to document its
essential transactions. Because information in electronic form may
be changed or deleted more easily than information on other media,
special measures are required in the creation and preservation of
electronic records needed for operational and informational
purposes.

The vital records and records disaster mitigation and recovery
programs relate to emergency preparedness. Contingency planning is
critical to laying the foundation for both programs, and appropriate
agency staff should be involved in this process. The planning
provides a forum for dealing with the following issues: (1)
determining the most critical activities that the agency must
perform if it must operate under other than normal business
conditions and in a facility other than its normal place of
business; (2) identifying which records are required to support
those critical activities and the reconstitution of normal
operations; (3) identifying which records series or electronic
information systems contain information necessary to protect the
legal and financial rights of the agency and persons affected by the
agency's actions and preserving copies of such records; and (4)
establishing and implementing a plan to recover records (regardless
of the medium of recording) that are damaged in an emergency or
disaster.

To determine what might constitute critical agency functions some
guidance is already available. Executive Order 12656, issued in
November 1988, defines particular functions certain agencies must
continue under a national security emergency declared by the
President. This Executive order assigns the Federal Emergency
Management Agency (FEMA) lead responsibility in providing guidance
to Federal agencies about emergency preparedness. FEMA has
supplemented the requirements outlined in EO 12656 by issuing
Federal Preparedness Circulars (FPCs) 60 and 64. Those circulars
further show which agencies have the most critical and the least
critical functions in terms of a declared national security
emergency. (Appendix A, Further Guidance
and Assistance, provides information on obtaining copies of FPCs
from FEMA.)

Agency staff participating in contingency planning may include
those from such functional areas as emergency coordination or
preparedness as authorized by E. O. 12656, information resources
management (IRM), automatic data processing (ADP), records
management, security, and facilities management. Officials from all
these areas have their roles in the continuity of operations should
disaster strike. Therefore, their participation in the planning
process and their contribution to the development of continuity of
agency operations and records disaster recovery programs are
crucial.

Planning must address actual and potential risks that could
adversely affect agency operations and the preservation of records.
Possible threats include fires, hurricanes, earthquakes and floods,
sabotage, civil disturbance, terrorism, and infestation of vermin or
other pests. In terms of natural disasters, regional conditions
should be considered. Federal agencies located on the east coast of
the United States must consider the possible effect of hurricanes on
their operations and their records. Those in the South and Midwest
may be subject to tornadoes. Those on the west coast may be subject
to earthquakes. All regions are subject to the possibility of flood
and fire. Recent examples of disasters affecting Federal facilities
include the hurricane that hit Homestead Air Force Base in Florida,
a flood that invaded the Defense Mapping Agency in St. Louis, an
earthquake that damaged a Department of Veterans Affairs hospital in
Los Angeles, a volcano eruption that caused the evacuation and
abandonment of Clark Air Force Base in the Philippines, as well as
the bombing of the Federal facility occupied by several agencies in
Oklahoma City.

In planning to meet actual and potential risks to agency
operations and the records needed to support them, agency officials
should identify the types of risks to which each of its facilities
may be subject. They should also assess the level of each type of
risk to determine the type of protection or response that may be
required. Some emergencies may require only limited response, while
the President might declare others to be national security
emergencies. Emergencies may affect one office within the agency or
an entire facility. They might be local or regional in scope. For
example, forewarning of an imminent terrorist attack on an agency
facility might be characterized as a top level emergency and
preplanned action taken to evacuate agency staff from the threatened
facility and continue agency operations from another site until the
threat is resolved or ceases. Alternatively, a minor flood causing
minimal damage to agency records and space would be assigned a lower
magnitude of importance requiring a less disruptive response.
Additional detail on level of emergencies is provided in the section
RECORDS DISASTER MITIGATION AND RECOVERY.

The vital records program is intended to do two basic things.
First, the program provides an agency with the information it needs
to conduct its business under other than normal operating conditions
and to resume normal business afterward. Second, the program
enables agency officials to identify and protect the most important
records dealing with the legal and financial rights of the agency
and of the persons affected by the agency's actions. Consequently,
vital records have been traditionally identified as being of two
types: emergency operating records and records needed to protect
rights (see 36 CFR 1236.14 in appendix B of
this guide for the formal definitions of vital records). The
various components required to implement the program follow.

Program Objectives

To ensure its effectiveness, the objectives of the vital records
program should be integrated into appropriate position descriptions,
functional statements, and procedural manuals. These documents
should specify agency staff responsibilities, provide for training
and distribution of information to concerned staff, and require that
vital records designations are current and complete. Through these
and other issuances agencies should disseminate information about
the vital records program detailing the policies, authorities,
responsibilities of agency officials, and the procedures to be
followed to protect vital records and to continue operations in case
of emergency or disaster. (See appendix C
for sample directives.)

Responsibilities

Agency officials responsible for coordinating the vital records
program serve a most critical function. It involves working with
other appropriate officials throughout the agency to identify,
inventory, protect, store, make accessible, and cycle (update, as
needed) the copies of vital records required in an emergency
including records that document legal and financial rights.

The records officer plays a crucial role in providing guidance
and assistance in inventorying records and determining appropriate
maintenance practices for copies of vital records. The cooperation
of agency program managers is important throughout the life cycle of
vital records. Based on the contingency planning analysis and
identification of emergency operating records and those needed to
protect legal and financial rights, program managers must determine
which records within their physical or legal custody are vital.
Program managers, in consultation with the records management
office, should then take steps to ensure that copies of those vital
records are properly managed throughout their life cycle, as they
are updated, stored, and cycled. In addition, original vital
records must be properly maintained until their authorized
disposition.

Earlier in this guide, in the discussion of contingency planning
and risk assessment, certain functional areas were cited as
important to those processes. Officials within those areas would
have critical roles should an emergency or disaster strike their
agency. IRM, ADP, and records management officials would carry out
their duties in ensuring adequate telecommunications and information
resources were available to conduct critical agency business.

Vital Records Plan

Each agency should develop a vital records plan. The first part
of the plan is a description of records that are vital to continued
agency operations or for the protection of legal and financial
rights. The plan also includes specific measures for the
appropriate storage and periodic cycling (updating) of copies of
those records.

The description of the vital records is based on identification
and inventorying. Federal agencies may take the following steps to
identify and inventory vital records:

Consultation with the official responsible for emergency
coordination.

Review of agency statutory and regulatory responsibilities and
existing emergency plans for insights into the functions and records
that may be included in the vital records inventory.

Review of documentation created for the contingency planning and
risk assessment phase of emergency preparedness. The offices
performing those functions would be an obvious focus of an
inventory.

Review of current files plans of offices that are responsible
for performing critical functions or may be responsible for
preserving rights.

Review of the agency records manual or records schedule to
determine which records series potentially qualify as vital.

Agencies must exercise caution in designating records as vital
and in conducting the vital records inventory. A review of the
available literature suggests that from 1 to 7 percent of an
agency's records may be vital records. Only those records series or
electronic information systems (or portions of them) most critical
to emergency operations or the preservation of legal or financial
rights should be so designated. Agencies must make difficult and
judicious decisions in this regard.

The inventory of vital records should include:

The name of the office responsible for the records series or
electronic information system containing vital information

The title of each records series or information system
containing vital information

Indication of whether the series or system is an emergency
operating vital record or a vital record relating to rights

The medium on which the record is recorded

The physical location for offsite storage of copies of the
records series or system

The frequency with which the records are to be cycled (updated).

The Nuclear Regulatory Commission directive on
vital records found in appendix C provides
an example of an approach for identifying and managing vital
records.

Records likely to be selected as vital include:

Emergency operating records

Emergency plans and directive(s), or similar authorizing
issuances, including information needed to operate the emergency
operations center and its equipment, and records recovery plans and
procedures

Orders of succession

Delegations of authority

Emergency staffing assignments, including lists of personnel,
along with their addresses and telephone numbers (and comparable
data on their alternates), assigned to the emergency operations
center, to other emergency duties, or authorized access to damaged
facilities to assess the extent of such damage

Building plans and building systems operations manuals for all
agency facilities

Equipment inventories for all agency facilities

Files plans describing the records series and electronic
information systems maintained at official filing stations for all
agency facilities

Vital records inventories

Copies of agency program records (whatever the media) needed to
carry out continuing, critical functions

System documentation for any electronic information systems
designated as emergency operating records.

This list is not inclusive.

Records needed to protect rights include:

Accounts-receivable records

Social security records

Payroll records

Retirement records

Insurance records

Any records relating to contracts, entitlement, leases, or
obligations whose loss would pose a significant detriment to the
legal and financial rights of the Federal Government or persons
affected by its actions

System documentation for any electronic information systems
designated as records needed to protect rights.

This list is not inclusive.

After completion of the inventory, agencies must choose
protection methods and storage sites for vital records. The former
may include using existing duplicates of the records designated as
vital or duplication of the original recording medium, whether it be
paper, microform, magnetic tape or cartridge, or another medium. If
performing duplication, it is generally most economical to duplicate
the original medium to the same medium, that is duplicate microfiche
to microfiche or magnetic tape to magnetic tape. Appropriate
equipment should be selected to ensure the continued preservation of
copies of the vital records until they are cycled. In addition,
proper environmental conditions should be provided for copies of
vital records, particularly for those recorded on such fragile media
as microfilm or magnetic tape or disks, until they are replaced.

Given the importance of vital records, agencies should arrange
for offsite storage of copies in a facility not subject to the same
emergency or disaster but still reasonably accessible to agency
staff. The storage site for copies of vital records varies
according to its designated type. Whenever feasible, an agency
should store copies of emergency operating records in a properly
equipped and environmentally controlled emergency operations center.
If an agency has not established such an operations center, it may
store emergency operating records at a Federal records center (FRC)
operated by NARA (see 36 CFR 1236.26 in appendix B of this guide). The agency should
contact the FRC serving it to determine if the FRC has sufficient
space to store the emergency operating records and, if frequent
cycling of the records is required, what costs the agency may have
to incur. An FRC is likely to initiate a reimbursable agreement
with Federal agencies whose records require frequent cycling.
Agencies should also be aware that if an emergency or disaster
effects them, an FRC may not be able to make their emergency
operating records available in as timely a fashion as if such
records were stored in an emergency operations center.

Records needed to protect legal and financial rights may also be
stored at any FRC. If such vital records are recorded on a medium
other than paper, agencies should check with the center before
initiating a transfer to ensure that environmentally controlled
space is available.

Periodic cycling (updating) of copies of vital records is
essential. The agency decides the frequency of cycling, based on
how current its emergency operating records and records needed to
protect rights must be to meet its information needs and
responsibilities. Depending on those needs and upon the medium on
which the vital record is maintained, cycling may occur daily,
weekly, monthly, annually, or at longer intervals.

Training

All agency employees assigned responsibilities in the vital
records program should receive appropriate training. Periodic
briefings should be given to senior managers, especially those new
to the agency, about the status of their records in relation to the
vital records program. Appropriate agency officials should ensure
that employees receive training commensurate with the duties that
they have been assigned in the program. Such training would
generally focus on the identification, inventorying, protection,
storage, and cycling of copies of the agency's vital records.
Wherever possible it should be integrated with existing agency
training initiatives, particularly in such areas as records
management and emergency coordination.

Review and Testing

The agency official(s) responsible for managing the vital records
program should conduct a periodic review of it with other
appropriate agency program managers. This review is intended to
determine whether the agency's vital records are adequately
protected, current, and accessible to the staff who would use them.
This is particularly important should the agency's functions or
activities change significantly. Such changes might require a
modification of the vital records plan.

Federal agencies should periodically test their emergency plans
and procedures to determine if the appropriate records have been
identified to allow agency staff to function effectively in case of
emergency. The agency official responsible for managing the vital
records program should work with other agency test participants to
assess the results of the test and to make appropriate
modifications, where needed.

Agencies should develop suitable protective measures for their
records and copies of their vital records to respond to actual or
potential emergencies or disasters identified in contingency
planning. This is the records management aspect of emergency
management. Vital records are emphasized as they tend to have the
greatest value in case of emergency or they require extra protection
because they document legal or financial rights. The type and level
of value determines the amount of protection agencies should
provide. Special protective measures for vital records may include
the use of fire-rated filing equipment for storage; on-site vaults;
transferring records to offsite storage; duplicating the records at
the time of their creation, such as computer "backup" tapes; using
existing duplicates as vital record copies; or, microfilming vital
records.

Additional protective measures are needed for Federal records
maintained on a medium other than paper. These "special records"
require specific environmental conditions and careful handling
throughout their life cycle to ensure their preservation. Agencies
must institute and maintain temperature and humidity controls for
special records such as photographs and negatives, microforms, audio
and video tapes and disks, and electronic tapes and disks.

When emergencies or disasters occur, however, even the best of
protective measures may not prevent damage to records.
Consequently, agencies need to develop records recovery plans to
provide a means of responding quickly and economically to records
disasters in order to salvage or replace damaged records and the
information that they contain.

Program Objectives

Agencies must be able to continue operations in case of emergency
or disaster. Availability of critical information is key to
continuation of operations. Consequently, agencies should ensure
that responsible personnel are familiar with the records disaster
mitigation and recovery program. Each agency should document the
policies, authorities, responsibilities of agency officials, and the
procedures governing the records disaster mitigation and recovery
program in appropriate issuances such as functional statements and
procedural manuals. These issuances should clearly assign
responsibility for coordinating disaster recovery plans and
activities. They should also designate other members of a disaster
recovery team which would be activated in time of need. Agencies
should ensure that this records disaster recovery program
information is distributed to all appropriate staff members. Figure
1. provides a list of steps that agencies may find useful in
planning for potential disasters.

Levels of Risk

In developing the records disaster recovery plan, agency
officials should assess the varying intensity of each risk to which
their records may be subject. Risks may range from minor flooding
affecting perhaps only one or two offices in a facility to a major
fire that may cause significant damage to the entire facility and
its contents. Generally, water, fire, and smoke damage should
receive particular attention as they are the likely agents that will
damage records stored in an agency facility. If chemical agents are
either stored in the building or are contained in its operating
systems, the potential damage these might cause should also be
addressed during the planning. For example, certain chemicals used
in fire extinguishers adhere to records. Although use of these
types of extinguishers may be effective in smothering the fire, they
should not be used in areas where records are exposed. Agency staff
participating in this planning should be those cited earlier in this
guide under Contingency Planning and Risk Assessment.

Responsibilities

The agency official responsible for managing the records disaster
recovery program serves as its coordinator. This coordinator should
work with other appropriate officials throughout the agency on the
development and implementation of protective measures to mitigate
potential records disasters. This official will also have primary
responsibility for ensuring that an up-to-date records recovery plan
is in place and available to all concerned personnel.

Program managers are crucial to the process of mitigating
potential records emergencies or disasters. They should work
closely with the official responsible for coordinating the records
disaster recovery program and other appropriate agency officials in
ensuring that agency staff are aware of and are executing
appropriate protective measures for the records under their control.
This is particularly important for electronic information systems
where creation of backup data is an essential protective measure, or
for other nonpaper records such as audiovisual records and
microfilm. It is more economical to duplicate many of these media
(particularly magnetic tape or cartridges) at the time of creation
than to attempt to recover the sole copy of such items damaged in an
emergency or disaster. Making copies of undamaged records also
ensures that all data in the records will be available.

Records Recovery Plan

Each agency should prepare a records recovery plan to establish
specific procedures for personnel to follow in the event that an
emergency or disaster occurs. (See appendix
D for an example.) The official responsible for coordinating
the records disaster recovery program should work with such agency
officials as the emergency coordinator, the IRM and ADP staff,
facilities managers, and security staff in developing the records
recovery plan. In addition, all other agency staff should be
briefed on their general responsibilities should such an emergency
or disaster occur.

The records recovery plan should provide details about the
following processes: (1) instructions on whom to notify immediately
in case of emergency to relate details about the nature of the
emergency and the level of vulnerability of the records; (2)
assessing the damage to records as soon as possible after the
emergency and taking immediate steps to stabilize the condition of
the records so further damage will not occur; (3) assembling a
records recovery team of agency staff members to help in stabilizing
the condition of the records (generally only for major records
disasters); (4) consulting with contractors that provide records
disaster recovery services if the damage assessment indicates the
need for their expertise; (5) recovering the records and the
information that they contain, or providing replacement of any lost
recorded information when recovery is not feasible; and (6) resuming
normal business using the recovered records and information. Figure
2. provides an outline of the components of such a plan.

ELEMENTS OF A DISASTER RECOVERY PLAN

FIGURE 2

Table of Contents

Introduction
- use of the document
- how it is to be revised
- responsible personnel
- general information about the facility

Some additional points should be made about these steps. In
assessing the damage done to records, determine what recording
medium has been affected. Photographic negatives and microfilm that
are water-damaged require different treatment than water-damaged
paper records. Also, find out if the records carry any access
restrictions. Only personnel with proper clearance should be
allowed to handle them. Before beginning the actual recovery
process, separate any damaged records from undamaged records,
wherever possible, to speed up the process of repair and
recovery.

A list of records disaster recovery specialists with their areas
of expertise, addresses, telephone numbers, and an individual point
of contact should be prepared and available before a records
emergency or disaster happens. This list should be checked
periodically to ensure that it remains accurate and current.
Agencies should be aware that disaster recovery specialists often
concentrate on assisting their clients with very specific problems.
One recovery specialist may focus on the process of recovering water
damaged paper records, while another may concentrate on recovery of
water-damaged magnetic tape. Consequently, agencies should develop
as broad a list of records disaster recovery specialists as possible
in order to be able to respond to all the potential risks to which
all their recorded media might be subject.

Agencies should also consider maintaining on-site certain
equipment to help mitigate water damage to records. An example of
such a list is found in appendix J of appendix
D of this guide. Agencies may consult with NARA's regional
Federal Records Centers and/or Regional Archives to obtain
information about records disaster recovery plans. See Appendix A, Further Guidance and Assistance
for a list of these facilities.

Training

All agency employees should receive training appropriate to their
records disaster recovery responsibilities. Briefings about the
program should be directed to all employees and combined with other
emergency preparedness activities devoted to such topics as fire
drills or building evacuation drills.

Training should also be given to members of the records disaster
recovery team, and any designated alternate members, so they may
assist the official coordinating disaster recovery in time of need.
At the minimum, team members could help in assessing the nature and
extent of the records disaster, which records were affected, and the
record media, so the recovery manager can report accurately on the
disaster and recommend specific recovery steps for approval by the
agency's senior managers. For example, if the volume of paper
records damaged by water is manageable, the recovery team members
may be able to take preliminary steps themselves to mitigate further
damage and speed the recovery process.

Review and Testing

The official responsible for coordinating the records disaster
recovery program should conduct a periodic review of the records
recovery plan with the assistance of selected agency officials to
determine its adequacy and accuracy. This review should included
the list of vendors (with telephone numbers, addresses, and other
relevant data) that may have to be called upon in case of an actual
records emergency or disaster.

The plan should also be periodically tested, much as are fire
drills and building evacuation procedures. The test should involve
members of the records disaster recovery team and include an
evaluation of their activities as well as the usefulness and
thoroughness of the recovery plan. Modifications to either the plan
or to the responsibilities of the team should be made, as
needed.

NARA does not mandate the format, organization, or design of
agency issuances that implement the vital records and records
disaster mitigation and recovery programs. The following vital
records directives from two Federal agencies are provided as recent
examples of agency internal issuances. Other agencies will decide
how and where to incorporate the requirements specified in NARA
regulations (appendix B) into their operations,
and how to authorize and document these programs.

As indicated in the introduction to appendix
C of this guide, NARA does not mandate either the organization
or format of agency issuances that implement vital records or
records disaster mitigation and recovery programs. The following
draft disaster plan recently formulated by the staffs of NARA's
Southwest Regional Archives and Fort Worth Federal Records Center is
provided as an example of a recent internal agency issuance. Other
agencies will decide best how to document and implement their own
records disaster recovery